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2012 Conference

2012 Speaker Bios

Otto J. Betz IV – Corporate Panel
Vice President, Pershing Trading Services
Pershing LLC, a BNY Mellon Company
Otto Betz is a Vice President, Pershing LLC, where he is responsible for making markets and providing liquidity in the High Grade Corporate bond market for Pershing Trading Services and its clients.  Mr. Betz specifically trades the shorter end of the Investment Grade market focusing on 3 years and in across all sectors.  Prior to joining Pershing in August, 2009, he was a Vice President, Government Bond Trader at Countrywide Financial Corp. where he was responsible for trading the front end of the US Treasury market with a focus on the 2 year and Bill sectors as well as the repo markets.  Prior to starting his career in the financial markets  Mr. Betz was an Infantry Officer in the United States Marine Corps. attaining the rank of Captain.  Mr. Betz graduated from Hobart College where he obtained a BA in American History and Literature.  He holds FINRA Series 7 and 63 licenses.
Rick Cabanes – Structured Products Panel
Senior Vice President, Structured Product and Brokered CD Underwriting and Distribution
Hapoalim Securities USA, Inc.

Rick Cabanes joined Hapoalim Securities as co-head of the Structured Product and Brokered CD Underwriting desk.  Prior to joining the team, Rick led the corporate and bank liquidity funding efforts for Countrywide Securities.  Prior to his work in structured products, Rick was an options market maker at the Pacific Stock and Options Exchange where he traded volatility and dispersion strategies as a principal in his own firm.  Rick began his career with one of the largest derivatives trading firms in the world, Timber Hill/Interactive Brokers.  Rick holds a B.A. in Economics from the University of California and a M.B.A. in Finance from Loyola Marymount.
Joseph Castelluccio – Structured Products Panel
Managing Director and Head of High Grade Corporate and Structured Note Trading
PrinceRidge Group LLC
Mr. Castelluccio has over 35 years of Wall Street experience. Currently he is Managing Director, at The PrinceRidge Group . As Product Manager of the Structured Products team, Mr. Castelluccio specializes in bonds linked to various indices, baskets of equities, currencies, commodities and yield curve strategies. Prior to joining PrinceRidge Group LLC, Mr. Castelluccio was the former Head of Structured Products at another Investment Banking boutique, where he was instrumental in developing and creating the structured products platform. Prior to his involvement in Structured Products, he was Senior Vice President of Fixed Income Sales and Trading at ICAP Securities, with trading responsibility for middle market and institutional accounts. Before joining ICAP, Mr. Castelluccio spent the majority of his career at Prudential Securities, most recently as Senior Vice President of corporate bond trading where he managed the corporate bond trading desk for the firm's retail and institutional accounts. Mr. Castelluccio is a former president (1984-1985) of the Corporate Bond Traders Club of New York, a graduate of the College of Staten Island, and is a proud veteran of the United States Marine Corps.
Robert Escobio – Corporate Panel
Chairman of the Board and Chief Executive Officer
Southern Trust Securities, Inc.

Mr. Robert Escobio is the Chairman of the Board and the Chief Executive Officer of STS. Mr. Escobio has more than 30 years of experience with broker-dealer organizations, including Dean Witter, Paine Webber, Smith Barney and Prudential Securities. Mr. Escobio is also our head trader and is responsible for all of our operations as well as maintaining our relationship with key individual and institutional clients. Mr. Escobio also severs as President and a director of AR Growth Finance Corp (ARGW.PK). Mr. Escobio has an M.B.A. from the University of Miami and a B.S. from the University of Florida in Finance.

Tomas E. Gomez – CD Panel
Vice President, Wealth Management Sales

Tomas Gomez is a Vice President in the Derivatives and Structured Solutions Group having joined HSBC in 2004.  He is responsible for marketing and sales of structured investment and hedging solutions for various distribution channels in the Americas.  Mr. Gomez has over 10 years industry experience.  Mr. Gomez earned his International M.B.A. and M.S. in Finance degrees from the Daniels College of Business at the University of Denver.  He has a B.A. in Political Science from the University of Colorado at Boulder.

Laurie S. Goodman – Agency & Mortgage Panel
Senior Managing Director
Amherst Securities Group, L.P.

Laurie Goodman is a Senior Managing Director at Amherst Securities Group, L.P., where she is responsible for strategy and business development. Laurie joined the firm in December, 2008, assembled the Strategy Team and began publication of the Amherst Mortgage Insight. From July 1993-Nov 2008, Laurie was head of Global Fixed Income Research and Manager of U.S. Securitized Products Research at UBS and predecessor firms. The UBS Securitized Products Research group was widely recognized for its insightful analysis and weekly Mortgage Strategist publication. Prior to that, Laurie spent 10 years in senior fixed income research positions at Citicorp, Goldman Sachs, and Merrill Lynch. She was also a mortgage portfolio manager on the buy side and a Senior Economist at the Federal Reserve Bank of New York. Laurie holds a B.A. in Mathematics from the University of Pennsylvania, and M.A. and Ph.D. degrees in Economics from Stanford University. She has published more than 180 articles in professional and academic journals, and co-authored and co-edited five books. Laurie was inducted into the Fixed Income Analysts Hall of Fame in 2009.

Allen Hassan – Corporate Panel
Managing Director, Preferred Products

Allen Hassan has spent more than 20 years focusing on fixed income products, with a specialization in Preferred Stock. Allen started his career at Lehman Brothers in Fixed Income Sales and Trading. After Lehman, Allen joined Prudential Securities where he was instrumental in their Fixed Income distribution capabilities and led their institutional Preferred business. Allen then left to start the Preferred Desk at Jefferies and Co. in 2003. In April 2011, BTIG hired Allen to start their Preferred Desk, expanding the firms product capabilities. BTIG’s Preferred Product capabilities complement the firm’s existing equities, fixed income and prime brokerage offerings. BTIG LLC is a premier institutional brokerage and fund services company. Founded in 2002, BTIG employs more than 400 professionals in five different countries. BTIG has ten U.S. offices, including: New York, San Francisco, Chicago, Los Angeles, Greenwich. Allen was born and raised in Los Angeles, California. He received his Bachelors of Science in Finance from Touro College. He has also studied at New York University. Allen currently resides in Manhattan’s Upper Westside with his wife and two children.

Marvin Loh – Corporate Panel
Director, Pershing Trading Services
Pershing LLC, a BNY Mellon Company
Marvin Loh is a Director, Pershing LLC, where he is responsible for providing fixed income analysis and support to Pershing Trading Services and its clients.  Mr. Loh monitors credit and market developments, and formulates their impact on a wide range of fixed income asset classes.  He publishes Pershing’s Weekly Fixed Income Commentary and is a regular contributor to Pershing’s monthly fixed income market call.  Prior to joining Pershing in August, 2009, he was the Director of Research at W.R. Hambrecht, where he was responsible for indentifying disruptive business models that provided above average long term investment returns.  Mr. Loh has held senior analyst roles in both the fixed income and equity markets at Oppenheimer and Company, Fidelity Investments and the Federal Reserve Bank of New York.  Mr. Loh graduated from New York University, where he obtained his Master of Business Administration in Finance and a Bachelors of Science degree in Finance and Economics.  He holds FINRA Series 7, 16, 24, 63, 86 and 87 licenses.

Christopher Luke – CD Panel
Managing Director, Financial Products
BMO Capital Markets
Chris is responsible for BMO’s interest rate structured products platform in the US. In this capacity he handles structuring, marketing and trading of BMO’s interest rate structured products under the Bank of Montreal and BMO Harris Bank brands. Chris joined BMO Capital Markets in November 2002 with responsibility for the U.S. Agency derivatives and fixed income businesses. He subsequently led BMO’s drive into the Latin American derivatives market and expanded its coverage of highly-rated frequent issuers in the multilateral space. From 1993 – 2001 Chris held a variety of positions in investment banking and capital markets at ABN AMRO Bank, including derivative sales and fixed income and structured note origination. He began his career with CIBC’s Capital Markets Group in 1988 with responsibility for derivatives and debt origination. Chris holds a B.A. in Chemical Engineering from Northwestern University and an MBA form the J.L. Kellogg Graduate School of Management.

John E. Rickmeier, CFA – CD Panel
President and Chief Executive Officer
IDC Financial Publishing, Inc.
Mr. Rickmeier has over 45 years of experience in evaluating financial institutions.  In 1984, Mr. Rickmeier converted the regulatory accounting submitted in Call Reports to the Office of Thrift Supervision into Generally Accepted Accounting Principles (GAAP).  With the GAAP database on thrifts and banks, IDC was uniquely positioned to analyze the Ohio crisis and subsequent failure of many banks and thrifts.  As CEO of IDC Financial Publishing, Mr. Rickmeier designs and manages the processes and analytics used in the evaluation of bank, thrift and credit union financial ratios, the value-added evaluation of bank investment portfolios, the value-added analysis of bank loan portfolios, and the efficiency analysis of the cost of funding a financial institution. Mr. Rickmeier and his analytical team evaluate and rank quarterly over 15,000 banks, thrifts, and credit unions.  IDC ratings of financial institutions have become the standard in evaluating the safety and soundness of institutions issuing brokered certificates of deposit.  IDC ratings are used by Fannie Mae, Freddie Mac, Ginnie Mae, insurance and credit card companies, and many state and municipalities as a guide for determining financial relationships. IDC ratings are also used by financial firms specializing in brokered certificates of deposit, individuals and institutions investing in certificates of deposit, and individuals concerned about their bank safety rating.  Before founding IDC Financial Publishing, Inc., Mr. Rickmeier acted as both chairman of an investment committee and portfolio manager for a Midwest investment advisory firm.  Prior to 1972, as chief economist for a New York investment strategy firm, he consulted with over 300 financial institutions.
Anthony Rosciano – Structured Products Panel
Vice President,
Pershing Trading Services
Pershing LLC, a BNY Mellon Company

Anthony Rosciano is a Vice President with Pershing LLC, having been a member of the Corporate Syndicate desk since May 2007.  Anthony has been an integral part of the growth of Pershing's syndicate business, executing transactions in a broad range of new issue products, including corporate medium term notes, municipal bonds, closed end funds, unit investment trusts as well as structured products.  Anthony is a graduate of Moravian College, double majoring in accounting and criminal justice.

Claude Seide – Agency & Mortgage Panel
Senior Funding Officer, Callable Agencies
FHLBanks Office of Finance
Claude is responsible for Term funding the 12 Federal Home Loan Banks with callable issuance and structured notes. In this capacity he manages and executes negotiated transactions on behalf of the FHLBank System. Claude’s responsibilities also include managing the callable auction, which consists of a bidding group of 24 dealers. Prior to joining the Office of Finance in 2006, Claude spent five years as a Fixed Income Sales and Trading Associate at Bear Stearns where he was responsible for accounts ranging from community banks, money managers, and pension funds to central banks and emerging market funds. Claude holds a B.A. in Economics from the University of Massachusetts as well as FINRA Series 7, 3, 63, and 65 licenses.
Tenzing Sharchok – Agency & Mortgage Panel
Lead Financial Officer, Derivatives and Structured Finance
The World Bank
Tenzing Sharchok, Lead financial  officer, Derivatives and Structured Finance, World Bank.  Responsible for the issuance of structured bonds and the hedging of all funding transactions as well as for repurchases of World Bank debt.  Mr. Sharchok holds an MBA degree from the State University of New York at Buffalo.

David Sterling – Agency & Mortgage Panel
Director, Funding
Federal Home Loan Bank of Chicago

David is responsible for term funding at the Federal Home Loan Bank of Chicago. David joined the bank in 2005 and managed balance sheet and mortgage portfolio hedging before assuming the funding role. Prior to his finance career, David served five years as an officer in the United States Army, leading soldiers in both the 3rd Armored Cavalry Regiment and the 7th Infantry Division.  David holds a B.S. in Economics from the United States Military Academy at West Point, New York, and an MBA from the University of Chicago Booth School of Business.

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